AWARD FINRA DISPUTE RESOLUTION CASE: 10-04015 Morgan Stanley Smith Barney LLC (Claimant) vs. Peter L. Jelstrom (Respondent) REPRESENTATION OF PARTIES: For Claimant appeared August "Jamie" H. Schupp, Esq., Morgan Stanley Smith Barney, Chicago, IL. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Member v. Associated Person. DATE FILED: September 7, 2010. CASE SUMMARY: Claimant asserted the following cause of action: breach of

AWARD FINRA DISPUTE RESOLUTION CASE: 10-03356 Gerald Krovatin and Anna Quindlen (Claimants) vs. TD Ameritrade Clearing, Inc. (Respondent) REPRESENTATION OF PARTIES: For Claimants appeared Gerald Krovatin, New York, NY. For Respondent appeared Hollie M. Mason, Esq., TD Ameritrade, Inc., Omaha, NE. NATURE OF DISPUTE: Customers v. Member DATE FILED: July 26, 2010 CASE SUMMARY: Claimants alleged that their order was not executed at the price that was

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02926 Joseph Anthony Ziellnski (Claimant) vs. Joseph C. Caruso (Respondent) REPRESENTATION OF PARTIES: Claimant appeared pro se, Cherry Hill, NJ. Respondent did not enter an appearance in this matter. NATURE OF DISPUTE: Associated Person v. Associated Person DATE FILED: June 21, 2010 CASE SUMMARY: Claimant asserted the following cause of action: unearned investment management fees. Claim Data Award Data

AWARD FINRA DISPUTE RESOLUTION CASE: 10-02327 Richard Y. Cain (Claimant) vs. Wachovia Securities LLC and Paul Ross (Respondents) REPRESENTATION OF PARTIES: Claimant appeared pro se, Hilliard, FL. For Respondents appeared Judy Louie, Esq., Wells Fargo Advisors, LLC, Pasadena, CA. NATURE OF DISPUTE: Customer v. Member and Associated Person DATE FILED: IVlay 11.2010 CASE SUMIVIARY: Claimant seeks damages for fraud, specifically for claims that Respo

stipulated Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Paul J. Panagios, Konstantina C. Panagios, Pauline Chilakis and Konstantina C. Panagios, and Konstantina C. Panagios and Pauline Chilakis ("Claimants") vs. Charies Schwab & Co., Inc. and Kimon Daifotis ("Respondents") Case Number: 09-04602 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Person. REPRESENTATION OF PARTIES Clai

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: James Vogel (Claimant) vs. Citigroup Global Markets, Inc., Peter Dolan, and Troy Rothmann (Respondents) Case Number: 09-03682 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant James Vogel ("Claimant"): Thomas H. Tucker, Esq., Law Office of Thomas H. Tucker, Duxbury, MA. Respondents Citigr

AWARD RNRA Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants Wayne Brown and Cynthia Joan Brown vs. Case Number 09-01961 Hearing Site: Chicago, Illinois N^rnQ? Qf RggppnijQnt? Wachovia Securities, LLC and Dennis Anderson NATURE QF THE DISPUTE Customers vs. Member and Associated Person REPRESENTATION QF PARTIES Wayne Brown and Cynthia Joan Brown ("Claimants") were represented by Joel M. Weiner, Esq., L

Award FINRA Dispute Resoiution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-05313 Jonathan Bjoring Michael R. Gray Jason R. Haddaway Clarence B. Taylor, Jr. Names of the Respondents Hearing Site: Washington. DC Banc of America Investment Services, Inc. Bank of America Corporation Nature of the Dispute: Associated Person vs. Member and Non-Member. REPRESENTATION OF PARTIES For Jonathan Bjoring ("

Amended Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 09-05185 Ameriprise Financial Services, Inc. Name of the Respondent Hearina Site: Washington. D.C. Brent D. Collier Nature of the Dispute: Member vs. Associated Person. REPRESENTATION OF PARTIES For Ameriprise Financial Services, Inc., hereinafter referred to as "Claimant": Edward A. Walton. Esq.. Ameriprise Financial, Detroit, M

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 09-01833 William J. Green and Susan P. Green Name of the Respondent Hearing Site: Orlando, Florida UBS Financial Services, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William J. Green ("W. Green") and Susan P. Green ("S. Green"), hereinafter collectively referred to as "Claimants": Jason A. Archina